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CG

Charles P. Gillette

GTS SECURITIES
NEW YORK, NY 10011
Some features on this profile are disabled
CRD#: 3174027
CG
Charles P GilletteGTS SECURITIES

Professional summary

Charles P Gillette, who also goes by C. Rick Gillette, Charles Patrick Gillette, Rick Gillette, is a registered financial professional currently at GTS SECURITIES LLC located in New York, New York and CLEARLIST SECURITIES LLC located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2007. Charles has worked at 6 firms and has passed the Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.

Aliases

C. Rick Gillette | Charles Patrick Gillette | Rick Gillette

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles P Gillette's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 30, 2019 - Present

GTS SECURITIES LLC

Office #1: 625 Avenue Of The Americas 3rd Floor, New York, NY 10011
BD
CRD#: 149224
NEW YORK, NY
Current

June 8, 2026 - Present

CLEARLIST SECURITIES LLC

Office #1: 625 6th Avenue 3rd Floor, New York, NY 10011
BD
CRD#: 309455
NEW YORK, NY
Current

June 8, 2026 - Present

CLEARLIST LLC

Office #1: 625 6th Avenue 3rd Floor, New York, NY 10011
BD
CRD#: 308066
NEW YORK, NY
Past

November 30, 2012 - September 11, 2018

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

July 2, 2012 - November 9, 2012

VIRTU AMERICAS LLC

BD
CRD#: 149823
JERSEY CITY, NJ
Past

July 30, 2007 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 9/11/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/3/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/27/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 11/11/2010
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/9/2007
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
SRO Registrations
RR
Texas Stock Exchange LLC

Current Firm

CL
CLEARLIST LLC
CLEARLIST LLC

CRD#: 308066 / SEC#: , 8-70504

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
625 6th A 3rd Floor, New York, NY 10011
Mailing Address
625 6th Avenue 3rd Floor, New York, NY 10011
Phone number
(212) 207-1350
Established
Delaware since 03/04/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CLEARLIST HOLDINGS LLCSOLE MEMBER
CHAIKIN, KASSIDYDIRECTOR OF OPERATIONS7596402
KRZAK, ALEXANDER JACOBPOO6349160
MURPHY, PATRICK THOMASCHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER2439168
PARISE, JANICE DRUFINOP, PFO2338583

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CLEARLIST LLC

CRD#: 308066New York, NY 10011

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